Norman E. Mains
Professional summary
Norman Ellsworth Mains III, who also goes by Norman Ellsworth Mains, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Dana Point, California.
Norman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Norman has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Norman Ellsworth Mains III's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2023 - Present
COMPOUND PLANNING, INC.
Office #1: 24661 Del Prado Ave Suite #5, Dana Point, CA 92629June 22, 2016 - January 31, 2018
NEWBRIDGE SECURITIES CORPORATION
June 14, 2016 - December 31, 2023
CLARAPHI ADVISORY NETWORK, LLC
June 30, 2015 - May 25, 2016
ROBERT W. BAIRD & CO. INCORPORATED
November 2, 2007 - May 25, 2016
ROBERT W. BAIRD & CO. INCORPORATED
April 1, 1999 - October 9, 2007
RBC CAPITAL MARKETS, LLC
November 11, 1994 - April 1, 1999
ABN AMRO INCORPORATED
March 23, 1994 - November 28, 1994
LASALLE FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
COMPOUND PLANNING, INC.
CRD#: 171787 / SEC#: 801-126007
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/27/2023)
Exams
Current Firm
COMPOUND PLANNING, INC.
CRD#: 171787 / SEC#: 801-126007
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,372 |
| AUM (Assets Under Management) | $ 3,025,356,111 |
Red Flags
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